FILED U.S. COURT OF AP P EALS E LEV EN T HC IRC U IT NOVEMB ER 29 , 2005 THOMAS K. KAH

N CLERK [ DO NOT P UB L I S H] I N TH E U N I TED STA TES C O U R T O F A PPEA LS F O R T H E E L E V E N T H C IR C U IT

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________________________ D. C . Do c k e tNo . 0 4 - 8 0 0 7 3 - C R - DT KH U N I T E D S T A T E S O F A M E R I C A , P la in tif f - A p p e lle e , v ersu s S A U L G U S T A M A , D e f e n d a n t- A p p e lla n t.

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_________________________ ( N ove m b e r 29, 2005) B efo re T J O F L A T , B IR C H a n d D U B IN A , C i rcu i t J u d g es. P E R C U R I A M:2

S a u l G u s ta m a ap p e a ls h is 1 2 - m o n th , 1 - d a y s e n te n c e f o rw ir e f r a u d in v io la tio n o f

1 8 U .S .C . § § 1 3 4 3 a n d 2 . A lth o u g h G u s ta m a w a iv e d h is S ix th A m e n d m e n t r ig h ts p u r s u a n t to h is p le a a g r e e m e n t, th is ap p e a l a s k s u s f ir s t to consi der ( 1) w hether he m ayst i l l appeal hi s s ent ence on the grou nd thatthe di stri ct courtcom m i tt ed st atut ory e rr or w hen i tse nt ence d h i m pu rs uantt o a m andat ory gu i del i nes s ys t em ; and then (2) w hether a ny such error w as harm l es s. W e f i nd that h e m a y ap p e a l a n d th a tth e e rr o rwa s n o th a rm l e s s . We VA C AT E a n d R E MAND f orr e s e nt e nc i ng. I . B AC KG RO UN D A fe dera l grand j ury r eturned a se ven-coun ti nd i ctm entagai nstG ust am a, c h a r g i n g h i m w i th w i r e f r a u d i n v i o l a t i o n o f

1 8 U . S. C. § § 1 3 4 3 a n d 2 . G u s t a ma ha d de f r a ude d a num be rof

i ndi vi dua l s i n a n e - B a y s a l e s s c he m e i n w hi c h he p r o m is e d to s e ll c e r ta in ite m s , a c c e p te d p a y m e n t, a n d th e n n e v e rs h ip p e d th e ite m s . T he pr oba t i on of

f i c e rde t e rm i ne d tha tG us t a m a ha d obt a i ne d a t ot a l of $77, 161 f r o m v a r io u s in d iv id u a ls . P ur s ua ntt o a pl e a a gr e e m e nt , G us t a m a pl e d gui l ty t o c ountS e ve n of the i ndi c tm e nt . A c c or di ng t o the pl e a a gr e e m e nt , G us t a m a “ w a i ve [ d] a ny const i tut i on al chal l enge t o the S ent enci ng G ui del i nes, w ai ve[d] i nd i ctm entand tri al by j ury on a l l f

i ndi ngs r e l e va ntt o s e nt e nc i ng, a nd a gr e e [ d] tha tthe C our t[ w oul d]543 U.S. ___, 125 S. C t. 738 (2005). 1 3 m a k e a ll s u c h f

in d in g s b y a p r e p o n d e r a n c e o f th e e v id e n c e b a s e d o n a n y r e liab le e vi de nc e , i nc l udi ng he a r s a y . ” R 1- 28 a t2. D u r in g th e p le a c o llo q u y , th e d is tr ic t c o u r t q u e s tio n e d G u s ta m a ab o u t h is pl e a a gr e e m e nt , r e l a t i ng the c ons t i tut i ona l w a i ve rt o B l a ke l y v. W a s hi ngt on, 542 U .S . 2 9 6 , 1 2 4 S . C t. 2 5 3 1 ( 2 0 0 4 ) , a n d e x p la in in g G u s ta m a ’s c o n s titu tio n a l r ig h ts in d e ta il. T h e d is tr ic t c o u r t p a r tic u la r ly e x p la in e d G u s ta m a ’s r ig h t to ju ry f a c tf i ndi ng, the pr e ponde r a nc e of e vi de nc e s t a nda r d, a nd the pos s i bi l i ty tha tthe F e de r a l S e nt e nc i ng G ui de l i ne s m i ghts oon be de e m e d unc ons t i tut i ona l by the S upr e m e C our t . G us t a m a i ndi c a t e d tha the unde r s t ood the w a i ve rpr ovi s i on a nd agre ed t o i t . A ft erthese w arni ng s, the di stri ctcourtac ce pt ed the pl ea . U sin g th e 2 0 0 2 S en ten cin g G u id elin es , th e p ro b atio n o ff icerse t G u stam a’s of f e ns e l e ve l a t15 w i th a c r i m i na l hi s t ory l e ve l of I . A tthe s e nt e nc i ng he a r i ng, G u s ta m a s u c c e s s f

u lly c h a lle n g e d th e a m o u n t o f m o n e y u s e d to c a lc u la te h is of f e ns e l e ve l a nd ha d i tr e duc e d t o 13. T hi s ga ve hi m a gui de l i ne r a nge of 12- 18 m o n th s . T h e m a x im u m s e n te n c e u n d e rth e s ta tu te w a s 2 0 y e a r s im p r is o n m e n t. T he di stri ctcourtsua s po nt e r ai se d the i ss ue of B oo ker, w hi ch w as then 1 pend i ng . T he courtst at ed thatthe se nt ence i tw as go i ng t o i m po se w as grea t erthan the se nt ence i tw ou l d h ave c ho se n h ad the gu i del i nes bee n adv i sory . T he court4

th e n d e l a y e d th e i mp o s i t i o n o f s e n t e n c e f

o r3 0 d a y s , i n a n t i c i p a t i o n o f th e Su p r e me C o u rt ’ s ru l i n g i n B o o k er, an d sen t en ced G u st am a t o 1 2 m o n th s an d o n e d ay, p u rsu an tt o th e S en t en ci n g G u i d el i n es. A ft erthe S up re m e C ou rthand ed do w n i t s dec i si on i n B oo ker, the di stri ct c our tr e c onve ne d the s e nt e nc i ng he a r i ng, butc onc l ude d tha t , a l though a j udgm e nt had n otbeen ent er ed, because m ore than t en days had p as se d si nce the se nt ence ha d be e n s t a t e d, i tl a c ke d j ur i s di c t i on t o c ha nge the s e nt e nc e unde rF e de r a l R ul e of C r im in a l P r o c e d u r e 3 5 . T h e c o u r t a ls o s ta te d th a t, if it h a d s till h a d ju r is d ic tio n , it w o u l d h av e g i v en G u st am a a sen t en ce o f su p erv i sed rel ease, em p h asi zi n g th ati tso st at ed “ [s ] o, there [c ou l d b e] no w aythatthi s e rr or [c ou l d] be construed as h a rm le s s .” R 4 a t 1 0 1 . O n appe a l , G us t a m a c ont e nds the di s tr i c tc our ts e nt e nc e d hi m pur s ua ntt o a m andat ory gui del i nes s chem e, contra ryt o the S up re m e C ou rt ’ s dec i si on i n B oo ker, a nd ourde c i s i on i n U ni t e d S t a t e s v. S he l t on, 400 F . 3d 1325 ( 11th C i r . 2005) . T he g o v e rn m e n t r e s p o n d s th a t h e w a iv e d h is r ig h t to ap p e a l in h is p le a a g r e e m e n t. I I . DI S CUS S I ON A . W ai ver of A pp ea l W e r e v ie w th e q u e s tio n o f w h e th e ra d e f

e n d a n t h a s w a iv e d h is r ig h t to appe a l hi s s e nt e nc e de novo. U ni t e d S t a t e s v. B e ni t e z - Z apa t a , 131 F . 3d 1444, 14465

( 11th C i r . 1997) . “ A pl e a a gr e e m e nti s , i n e s s e nc e , a c ontr a c tbe tw e e n the gove rnm e nta nd a c r i m i na l de f e nda nt . ” U ni t e d S t a t e s v. H ow l e , 166 F . 3d 1166, 1168 ( 11th C i r . 1999) . W a i ve ri n a pl e a a gr e e m e nti s e nf or c e abl e w he n the G ove rnm e ntc a n s how “ e i the r : ( 1) the di s tr i c tc ourts pe c i f i c a l l y que s t i one d the d e f e n d a n t ab o u t th e w a iv e rd u r in g th e p le a c o llo q u y , o r( 2 ) th e r e c o r d c le a r ly show s thatthe defendantotherw i se un ders t oo d the ful l si gn i fi cance of the w ai ver. ” U n ite d S ta te s v . G r in a r d - H e n ry , 3 9 9 F .3 d 1 2 9 4 , 1 2 9 6 ( 1 1 th C ir .) ( p e rc u r ia m ) , c e r t. de ni e d, __ U . S . __, 125 S . C t . 2279 ( 2005) . W he r e a di s put e a r i s e s c onc e rni ng the m e a ni ng of

the l a ngua ge i n the a gr e e m e nt , w e r e s or tt o a n a na l y s i s of the t e rm s of the pl e a a gr e e m e nta c c or di ng t o obj e c t i ve s t a nda r ds . U ni t e d S t a t e s v. R e w i s , 969 F . 2d 985, 988 ( 11th C i r . 1992) . A ny a m bi gui t i e s m us tbe c ons true d a ga i ns tthe g o v e rn m e n t. U n ite d S ta te s v . J e f f e r ie s , 9 0 8 F .2 d 1 5 2 0 , 1 5 2 3 ( 1 1 th C ir . 1 9 9 0 ) . A s is p e rm itte d u n d e rB la k e ly , G u s ta m a w a iv e d h is S ix th A m e n d m e n t r ig h ts w he n he s i gne d the pl e a a gr e e m e nt . S e e 542 U . S . a t310, 124 S . C t . a t2541. T he pl e a a gr e e m e nts t a t e d tha the “ w a i ve [ d] a ny c ons t i tut i ona l c ha l l e nge t o the S e nt e nc i ng G ui de l i ne s , w a i ve [ d] i ndi c tm e nta nd tr i a l by j ury on a l l f i ndi ngs r e l e va ntt o s e nt e nc i ng, a nd a gr e e [ d] tha tthe C our t[ w oul d] m a ke a l l s uc h f i ndi ngs by a pr e ponde r a nc e of

the e vi de nc e ba s e d on a ny r e l i abl e e vi de nc e , i nc l udi ng he a r s a y , ” a nd the di s tr i c tc our te xpl a i ne d the pr ovi s i on i n de t a i l . R 1- 28 a t2. T he6

r e c o r d c le a r ly in d ic a te s th a t G u s ta m a u n d e r s to o d th e s ig n if ic a n c e o f h is w a iv e r . A s w e h a v e c la r if

ie d , h o w e v e r , B o o k e rc la im s a r e n o t lim ite d to const i tut i on al obj ec t i on s. S hel t on , 40 0 F . 3d at13 31 (s t atut ory e rr or un der “ B oo ker error e xi st s w hen the di stri ctcourtm i sapp l i es the G ui del i nes by c on si deri ng them as bi nd i ng as op po se d t o adv i sory . ”) T he pl eaagre em entdo es no tst at e that G u s ta m a c a n n o t m a k e a s ta tu to ry c h a lle n g e a s to th e m a n d a to ry g u id e lin e s . B e c a u s e a p l e a a g r e e m e n tm u s tb e c o n s tru e d s tr i c t l y a g a i n s tth e g o v e rn m e n t , we fi nd thatal tho ug h G ust am a m ayno tchal l enge hi s s ent ence on const i tut i on al g ro u n d s, h e m ay ch al l en g e i tu n d er B o o k er o n st atu t o ry g ro u n d s. B . B o o k e rC la im T hi s i ss ue w as ra i se d i n the di stri ctcourtand i s there fore pres erved. S ee U n ite d S ta te s v . R e e s e , 3 9 7 F .3 d 1 3 3 7 , 1 3 3 7 ( 1 1 th C ir . 2 0 0 5 ) ( p e rc u r ia m ) . W e r e v ie w a d e f

e n d a n t's p r e s e rv e d B o o k e rc la im o n ap p e a l d e n o v o , b u t r e v e r s e o n ly for harm ful error. U ni t ed S t at es v. P az , 40 5 F . 3d 94 6, 94 8 (11 th C i r. 20 05 ) ( per c ur i a m ) ( c i t a t i on om i tt e d) . A s not e d, a B ooke r“ s t a tut ory e rr oroc c ur s w he n the di stri ctcourtse nt ence s adefe nd ant‘ un der am andat ory [ g] ui del i nes s chem e, even i n the abs e nc e of

a S i xth A m e ndm e nte nha nc e m e ntvi ol a t i on. ’ ” U ni t e d S t a t e s v. M atheni a, 40 9 F . 3d 12 89 , 12 91 (11th C i r. 20 05 ) ( per c uri am ). B oo ker s t atut ory errors ar e s ubj ec tt o a l es s dem andi ng harm l es s e rr or t es tthan are c on st i tut i on al7

e rr or s . I d. a t1292. “ A non- c ons t i tut i ona l e rr ori s ha rm l e s s i f , vi e w i ng the pr oc e e di ngs i n the i re nt i r e ty , a c our tde t e rm i ne s tha tthe e rr ordi d nota f f e c tthe s e nt e nc e , orha d butve ry s l i ghte f f e c t . I f one c a n s a y w i th f

a i ra s s ur a nc e tha tthe s e nt e nc e w a s nots ubs t a nt i a l l y s w a y e d by the e rr or , the s e nt e nc e i s due t o be a f f i rm e d e ve n though the r e w a s e rr or . " I d. ( c i t a t i ons , om i s s i ons , a nd a l t e r a t i ons om i tt e d) . T he gove rnm e ntha s the bur de n of pr oof . S e e i d. In thi s c as e, the di stri ctcourterre d i n sent enci ng G ust am a und era m a nda t ory gui de l i ne s s y s t e m . A ts e nt e nc i ng, the di s tr i c tc our ts t a t e d tha t“ the s e n te n c e [ it w a s ] im p o s in g u n d e rth e g u id e lin e s w o u ld n o t b e th e s e n te n c e [ it] w ou l d i m po se i f [ i t ] had the di sc re t i on pri or t o the enactm entof the gu i del i nes. ” R 3 at83 . A tthe po st -B oo ker hear i ng , the di stri ctcourtst at ed thati t s s ent ence agai nstG ust am a w as i n err or, bu tthati tl ac ked the j uri sdi ct i on t o chang e i t . R 4 at 101. F ur the r , the di s tr i c tc our ta l s o c l a r i f i e d tha ti f

i tha d ha d j ur i s di c t i on ove rthe ca se atthatt i m e, i t s “ i nt entw ou l d [have been] t o p utM r. G ust am a on sup ervi se d r e l e a s e f ora pe r i od of

t i m e . ” I d. I n l i ghtof

the di s tr i c tc our t ’ s de f

i ni t i ve s ta te m e n ts , b o th d u r in g s e n te n c in g a n d w h e n it r e c a lle d th e p a r tie s p o s t- B o o k e r , it i s cl ear th atth e erro r h ad an effect on sen t en ci n g . T h e B o o k er st atu t o ry erro r w as, th e r e f o r e , h a rm f

u l. I I I . CONCL US I ON8

G ust am a app ea l s hi s s ent ence on the grou nd thatthe di stri ctcourtcom m i tt ed s ta tu to ry e rr o rw h e n it s e n te n c e d h im p u r s u a n t to a m a n d a to ry g u id e lin e s s y s te m . W e f i nd thathe pres erved h i s r i gh tso t o app ea l , thatthere w as error, and thatthat error w as harm ful . A cc ordi ng l y, w e VA C A TE a nd RE MAND f orr e s e nt e nc i ng.